Lucas Hales (CRD #: 6258497) has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on March 25, 2024. Keep reading if […]
FINRA Suspends David Levine
Aug 18, 2022
FINRA Fine
David Levine (CRD #: 2569418), a broker registered with B. Riley Wealth Management, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]
Steven Romjue Suspended by FINRA
Jul 6, 2022
FINRA Fine
Steven Romjue (CRD #: 1822291), a previously registered broker with Morgan Stanley, has been suspended by FINRA, according to his BrokerCheck record, accessed on June […]
Patrick Teutonico Suspended by FINRA Following Allegations that He Executed Excessive Trades
Jun 29, 2022
Excessive Trading
Patrick Teutonico (CRD #: 2875434), a broker registered with Network 1 Financial Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]
First Allied Ordered to Pay $2.6 Million Award Following Recommendations of Risky Non-Traded REITs
Jun 6, 2022
Articles
First Allied investors should review their portfolios to check if they recently lost money on risky, non-traded REITs. In March of 2022, FINRA ordered First […]
Mark Giordano (CRD #: 4052216), a former broker, resigned from Cetera Financial Specialists, according to his BrokerCheck record, accessed on May 28, 2022. His resignation […]
Andrew Elsoffer (CRD #: 2580009), a former broker, has been suspended from FINRA, according to his BrokerCheck record, accessed on May 19, 2022. Keep reading […]
Jayanth Hebbar Fined and Suspended by FINRA
May 23, 2022
FINRA Fine
Jayanth Hebbar (CRD #: 5244889), a suspended stock broker, allegedly broker FINRA rules. This is according to his BrokerCheck record, accessed on May 16, 2022. […]
UBS and Morgan Stanley Face Regulatory Fines Over their Failure to Report Transactions
May 17, 2022
Articles
FINRA has fined UBS and Morgan Stanley for failing to report transactions. Transaction reports affect share prices and can impact investors’ decisions to buy or […]
Steven Barnett Suspended from FINRA
May 11, 2022
FINRA Fine
Steven Barnett (CRD #: 1143510), a former broker, was temporarily suspended by FINRA, according to his BrokerCheck record, accessed on May 8, 2022. Read on […]